Part 4e appendix - Rules - Protocol External Funding

This procedure applies to all situations where external funding is available to
support delivery of services, whatever the value.
1. A Head of Service should nominate an officer responsible for each application for
external funding. The “Responsible Officer” will be responsible for managing the
grant application and project in accordance with this protocol.
2. It is important that approval is sought and obtained from your Head of Service,
whenever possible, prior to any funding applications being made. This is a
mandatory requirement when match funding may be required and in this instance
it is a golden rule that approval is required for match funding (in cash or in-kind
terms) by the Director of Corporate Services in conjunction with CMT.
3. Your Accountant is available to provide support when an application for external
funding is being considered or made.
4. The responsible officer should consider the following:
The nature of the application.
The amount.
Whether there is a matched funding requirement by the Council.
What conditions are attached to the application
When it will be received
The period of funding.
Other funding partners and the amount contributed.
Exit Strategies
5. Where there is a matched funding requirement this needs to be checked and
agreed with the Head of Service.
6. When the application is submitted as well as successful your accountant should
be made aware of the items listed in 3 above.
7. The flowchart attached gives an indication of the process you should follow.
Working File
8. The Responsible Officer should establish a working file for each application. The
file should contain copies of application forms, conditions of funding, source
documentation, working papers, partnership minutes and notes, other
organisations’ approvals, copies of committee reports and minutes, details of
expenditure and income and explanatory documentation. If the documentation is
4e Appendix - Protocol
presented clearly and logically then this will save time later (e.g. when external
audit is required).
9. Where matched resources are to be supplied by the Council in the form of staff
hours, a time recording system should be implemented and evidence included on
the file.
Timetable and Claim Requirements
10. The Responsible Officer should ensure that he or she is clear regarding the claim
timetable and requirements in respect of interim and/or final claims.
11. Claims should be made on time and in accordance with the timetable. Care
should be taken that the claim is completed in accordance with any guidance
notes. Where figures have been extracted from reports, the working file should
contain detailed explanatory documentation.
12. Responsible Officers should be clear as to the funding arrangements in respect of
VAT, and should consult with the Financial Services Manager at the earliest
Internal Certification
13. The Responsible Officer should be clear as to who is to certify the claim as
correct for the funding provider. This is likely to be one or more of the
Responsible Officer, the Head of Service and the S.151 Officer (the “Certifying
Officer[s]”). The Certifying Officer(s) should check the claim form carefully before
signature and be clear that he or she is certifying that the claim is in respect of
eligible expenditure and is supported by appropriate accounting records and
documentary evidence.
NOTE: Where the claim form requires only the S.151 Officer to be the Certifying
Officer, the Responsible Officer must countersign the form to the effect
that it may be properly certified.
4e Appendix - Protocol
External Funding Protocol flow chart
Get approval from Head
of Service
Get approval from
Director of Corporate
Services if match funding
Opportunity for External
Funding identified
Does the Application need
Head of Service/S151 Officer
Complete & Submit
Application form from funding
Provide details
of claim to
Create Working
Undertake Project / record
expenditure / timing etc
Submit Claim / relevant
Requires Audit
Does not require Audit
Liaise with Auditors
Submit Claim to funding body
Receive balance of funding
4e Appendix - Protocol
Provide details
of claim to